16668 Federal Register / Vol. 79, No. 58 / Wednesday, March 26, 2014 / Rules and Regulations 

1C350 Chemicals that may be used as 

precursors for toxic chemical agents. 

License Requirements 

* * * * * 

License Requirement Notes 

1. Sample Shipments: * * * 

* * * * * 

e. Annual report requirement. The exporter 

is required to submit an annual written 

report for shipments of samples made under 

this Note 1. The report must be on company 

letterhead stationery (titled ‘‘Report of 

Sample Shipments of Chemical Precursors’’ 

at the top of the first page) and identify the 

chemical(s), Chemical Abstract Service 

Registry (C.A.S.) number(s), quantity(ies), the 

ultimate consignee’s name and address, and 

the date of export for all sample shipments 

that were made during the previous calendar 

year. The report must be submitted no later 

than February 28 of the year following the 

calendar year in which the sample shipments 

were made, to: U.S. Department of 

Commerce, Bureau of Industry and Security, 

14th Street and Pennsylvania Ave. NW., 

Room 2099B, Washington, DC 20230, Attn: 

‘‘Report of Sample Shipments of Chemical 

Precursors.’’ 

* * * * * 

■ 13. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

1—Special Materials and Related 

Equipment, Chemicals, 

‘‘Microorganisms’’ and ‘‘Toxins,’’ ECCN 

1C351 is amended, under the List Based 

License Exceptions section, by adding 

an ‘‘STA’’ paragraph following the 

‘‘CIV’’ paragraph and, under the List of 

Items Controlled section, by revising 

paragraph d.5 in the ‘‘Items’’ paragraph 

to read as follows: 

1C351 Human and zoonotic pathogens and 

‘‘toxins’’, as follows (see List of Items 

Controlled). 

* * * * * 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: * * * 

GBS: * * * 

CIV: * * * 

Special Conditions for STA 

STA: (1) Paragraph (c)(1) of License 

Exception STA (§ 740.20(c)(1)) may be 

used for items in 1C351.d.1 through 

1C351.d.10 and 1C351.d.13 through 

1C351.d.19. See § 740.20(b)(2)(vi) for 

restrictions on the quantity of any one 

toxin that may be exported in a single 

shipment and the number of shipments 

that may be made to any one end user in 

a single calendar year. Also see the 

Automated Export System (AES) 

requirements in § 758.1(b)(4) of the EAR. 

(2) Paragraph (c)(2) of License Exception 

STA (§ 740.20(c)(2) of the EAR) may not be 

used for any items in 1C351. 

List of Items Controlled 

Related Controls: * * * 

Related Definitions: * * * 

Items: 

* * * * * 

d. * * * 

d.5. Clostridium perfringens alpha, beta 1, 

beta 2, epsilon and iota toxins; 

* * * * * 

■ 14. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

1—Special Materials and Related 

Equipment, Chemicals, 

‘‘Microorganisms’’ and ‘‘Toxins,’’ ECCN 

1C352 is amended by revising paragraph 

a.8. in the ‘‘Items’’ paragraph under the 

List of Items Controlled section to read 

as follows: 

1C352 Animal pathogens, as follows (see 

List of Items Controlled). 

* * * * * 

List of Items Controlled 

Related Controls: * * * 

Related Definitions: * * * 

Items: 

a. * * * 

a.8. Rabies virus and all other members of 

the Lyssavirus genus; 

* * * * * 

■ 15. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

1—Special Materials and Related 

Equipment, Chemicals, 

‘‘Microorganisms’’ and ‘‘Toxins,’’ ECCN 

1C353 is amended by revising Technical 

Note 1, following the ‘‘Items’’ paragraph 

under the List of Items Controlled 

section, to read as follows: 

1C353 Genetic elements and genetically 

modified organisms, as follows (see List 

of Items Controlled). 

* * * * * 

List of Items Controlled 

Related Controls: * * * 

Related Definition: * * * 

Items: 

* * * * * 

Technical Notes: 

1. ‘‘Genetic elements’’ include, inter alia, 

chromosomes, genomes, plasmids, 

transposons, and vectors, whether genetically 

modified or unmodified, or chemically 

synthesized in whole or in part. 

* * * * * 

■ 16. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

2—Materials Processing, ECCN 2B350 is 

amended by revising the introductory 

text of paragraph b. in the ‘‘Items’’ 

paragraph under the List of Items 

Controlled section to read as follows: 

2B350 Chemical manufacturing facilities 

and equipment, except valves controlled 

by 2A226 or 2A292, as follows (see List 

of Items Controlled). 

* * * * * 

List of Items Controlled 

Related Controls: * * * 

Related Definition: * * * 

Items: 

a. * * * 

b. Agitators designed for use in reaction 

vessels or reactors described in 2B350.a, and 

impellers, blades or shafts designed for such 

agitators, where all surfaces that come in 

direct contact with the chemical(s) being 

processed or contained are made from any of 

the following materials: 

* * * * * 

■ 17. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

2—Materials Processing, ECCN 2B352 is 

amended under the ‘‘Items’’ paragraph 

in the List of Items Controlled section 

by revising paragraph b. and the 

Technical Note thereto to read as 

follows: 

2B352 Equipment capable of use in 

handling biological materials, as follows 

(see List of Items Controlled). 

* * * * * 

List of Items Controlled 

Related Controls: * * * 

Related Definitions: * * * 

Items: 

a. * * * 

b. Fermenters and components as follows: 

b.1. Fermenters capable of cultivation of 

pathogenic micro-organisms or of live cells 

for the production of pathogenic viruses or 

toxins, without the propagation of aerosols, 

having a capacity of 20 liters or greater. 

b.2. Components designed for such 

fermenters, as follows: 

b.2.a. Cultivation chambers designed to be 

sterilized or disinfected in situ; 

b.2.b. Cultivation chamber holding devices; 

or 

b.2.c. Process control units capable of 

simultaneously monitoring and controlling 

two or more fermentation system parameters 

(e.g., temperature, pH, nutrients, agitation, 

dissolved oxygen, air flow, foam control). 

TECHNICAL NOTE: Fermenters include 

bioreactors (including single-use (disposable) 

bioreactors), chemostats and continuous-flow 

systems. 

* * * * * 

Dated: March 18, 2014. 

Kevin J. Wolf, 

Assistant Secretary for Export 

Administration. 

[FR Doc. 2014–06406 Filed 3–25–14; 8:45 am] 

BILLING CODE 3510–33–P 

DEPARTMENT OF COMMERCE 

National Technical Information Service 

15 CFR Part 1110 

[Docket Number: 140321001–4001–01] 

RIN 0692–AA21 

Temporary Certification Program for 

Access to the Death Master File 

AGENCY: National Technical Information 

Service, U.S. Department of Commerce. 


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ACTION: Interim final rule. 

SUMMARY: The National Technical 

Information Service is issuing this 

interim final rule to establish a 

certification program under which 

persons may obtain immediate access to 

the publicly available Death Master File 

(DMF), pursuant to Section 203 of the 

Bipartisan Budget Act of 2013 (Act). 

This rule sets forth temporary 

requirements to become a certified 

person, provides that certified persons 

will be subject to periodic and 

unscheduled audits, and provides for 

the imposition of penalty upon any 

person who discloses or uses DMF 

information in a manner not in 

accordance with the Act. This rule also 

provides for the charging of fees for the 

certification program. 

DATES: This rule is effective on March 

26, 2014. Comments are due on this 

interim final rule on or before 5:00 p.m. 

Eastern time April 25, 2014. 

ADDRESSES: National Technical 

Information Service, 5301 Shawnee 

Road, Alexandria, VA 22312. Written 

comments must be submitted to John 

Hounsell by email at jhounsell@ntis.gov, 

or in paper form at NTIS, 5301 Shawnee 

Road, Alexandria, VA 22312. 

FOR FURTHER INFORMATION CONTACT: John 

Hounsell at jhounsell@ntis.gov, by mail 

at NTIS, 5301 Shawnee Road, 

Alexandria, VA 22312, or by telephone 

at 703–605–6184. Information about the 

DMF made available to the public by 

NTIS may be found at https://

dmf.ntis.gov. 

SUPPLEMENTARY INFORMATION: 

Background 

This interim final rule establishes a 

temporary certification program for 

persons who seek access to the Death 

Master File (DMF), as defined in Section 

203 of the Bipartisan Budget Act of 2013 

(Pub. L. 113–67) (Act). The Act 

prohibits disclosure of DMF information 

during the three-calendar-year period 

following an individual’s death unless 

the person requesting the information 

has been certified under a program 

established by the Secretary of 

Commerce. The Act directs the 

Secretary of Commerce to establish a 

certification program for such access to 

the DMF. Section 203, ‘‘Restriction on 

Access to the Death Master File,’’ 

requires the establishment of a fee-based 

certification program for allowable uses 

of DMF data for any deceased 

individual within three calendar years 

of the individual’s death. Authority to 

carry out Section 203 has been 

delegated by the Secretary of Commerce 

to the Director, National Technical 

Information Service (NTIS). 

NTIS published a Request for 

Information and Advance Notice of 

Public Meeting on the Certification 

Program for Access to the Death Master 

File (RFI) at 79 FR 11735, available at 

http://www.gpo.gov/fdsys/pkg/FR-2014- 

03-03/pdf/2014-04584.pdf. The public 

meeting was held March 4, 2014, from 

9:00 a.m. to 12:00 p.m. Eastern time at 

the United States Patent and Trademark 

Office, Madison Building West, 600 

Dulany Street, Alexandria, VA 22314. 

The public meeting was also webcast. 

Written comments received in response 

to the RFI, and a transcription of oral 

comments made and comments 

submitted via webcast at the public 

meeting, may be viewed at http://

dmf.ntis.gov/. 

In response to the RFI, NTIS received 

approximately 70 written comments, as 

well as oral and webcast comments at 

the public meeting. Among the 

commenters, 12 were insurance 

companies, 9 were industry 

associations, 6 were banks or credit 

services, 4 were pension funds, 

approximately 20 were various types of 

service providers, and the rest were 

individuals, including 8 genealogists, 6 

investigators and 3 medical researchers. 

Among the insurance companies and 

service providers, the most frequent 

comment received was that without 

continued access to the DMF, these 

organizations would be unable to 

prevent various types of fraud. For 

example, life insurance companies 

commented that they use the DMF to 

ensure that they are paying a valid claim 

to proper beneficiaries. Other 

commenters stressed that their 

continued access to the DMF is 

necessary to prevent credit card fraud. 

Others commented that they require 

continued access to the DMF to 

complete timely research to locate legal 

heirs to estates and unclaimed property. 

The statute and the temporary 

certification program established under 

this interim final rule permit all entities 

that meet the certification requirements 

to have access to the Limited Access 

DMF (as defined in the rule). In 

contrast, others commented that the 

nature of their use of the DMF was such 

that the Act should not be applied to 

them in accessing the DMF; however, 

the Act does not provide for exceptions. 

Section 203, ‘‘Restriction on Access to 

the Death Master File’’ 

Section 203(a) of the Act directs that 

the Secretary of Commerce (Secretary) 

shall not disclose to any person 

information contained on the Death 

Master File with respect to any deceased 

individual at any time during the threecalendar-year period beginning on the 

date of the individual’s death, unless 

such person is certified under a program 

established under the Act. 

Section 203(b)(1) of the Act directs 

the Secretary to establish a program to 

certify persons who are eligible to 

access the information contained on the 

Death Master File, and to perform 

periodic and unscheduled audits of 

certified persons to determine 

compliance with the program. 

Under Section 203(b)(2) of the Act, a 

person shall not be certified under the 

program unless such person certifies 

that access to the information is 

appropriate because such person (A) has 

(i) a legitimate fraud prevention interest, 

or (ii) a legitimate business purpose 

pursuant to a law, governmental rule, 

regulation, or fiduciary duty, and (B) 

has systems, facilities, and procedures 

in place to safeguard such information, 

and experience in maintaining the 

confidentiality, security, and 

appropriate use of such information, 

pursuant to requirements similar to the 

requirements of section 6103(p)(4) of the 

Internal Revenue Code of 1986 (IRC), 

and (C) agrees to satisfy the 

requirements of such section 6103(p)(4) 

as if such section applied to such 

person. 

Section 203(b)(3)(A) of the Act directs 

the Secretary to charge fees to recover 

all costs of evaluating applications for 

certification and auditing, inspecting, 

and monitoring certified persons under 

the program. Section 203(b)(3)(B) of the 

Act requires the Secretary to report 

annually to the Congress on the fees 

collected and the cost of administering 

the program. 

Section 203(c)(1) of the Act provides 

that any certified person who receives 

DMF information as defined in Section 

203(a), and who (A) discloses such 

information to any person other than a 

person meeting the requirements of 

subparagraphs (A), (B), and (C) of 

subsection (b)(2), or (B) discloses such 

information to any person who uses the 

information for any purpose not listed 

under subsection (b)(2)(A) or who 

further discloses the information to a 

person who does not meet such 

requirements, or (C) uses any such 

information for any purpose not listed 

under subsection (b)(2)(A), shall pay a 

penalty of $1,000 for each such 

disclosure or use, as shall any person to 

whom such information is disclosed 

who further discloses or uses such 

information as described in the 

preceding subparagraphs. Under Section 

203(c)(2), there is a $250,000 limit on 

the total penalty that can be imposed on 

any person for any calendar year, unless 


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the Secretary determines the violations 

to have been willful or intentional. 

Section 203(d) of the Act defines the 

term ‘‘Death Master File’’ to mean 

information on the name, social security 

account number, date of birth, and date 

of death of deceased individuals 

maintained by the Commissioner of 

Social Security, other than information 

that was provided to such 

Commissioner under section 205(r) of 

the Social Security Act (42 U.S.C. 

405(r)). 

Under Section 203(e)(1) of the Act, 

the Freedom of Information Act (FOIA) 

shall not apply to compel any Federal 

agency to disclose information 

contained on the Death Master File with 

respect to any deceased individual at 

any time during the three-calendar-year 

period beginning on the date of the 

individual’s death to anyone other than 

a certified person. Section 203(e)(2) of 

the Act provides that Section 203 shall 

be considered a statute under FOIA 

section 552(b)(3). 

Under Section 203(f) of the Act, 

Section 203 takes effect 90 days after the 

date of the enactment, while Section 

203(e) (the FOIA provision) takes effect 

upon enactment. 

As noted in the RFI, several Members 

of Congress described their 

understanding of the purpose and 

meaning of Section 203 during 

Congressional debate on the Joint 

Resolution which became the Act, and 

citations to those Member statements 

are provided in the RFI. The RFI also 

provides background on the component 

of the DMF covered by Section 203, 

which originates from the Social 

Security Administration. 

In addition, to comply with the 

certification program requirements 

established under this interim final rule, 

certified persons who receive Limited 

Access DMF may not themselves 

redistribute such information in an 

unrestricted manner, including over the 

Internet. 

The interim final rule defines 

‘‘Persons’’ to include corporations, 

companies, associations, firms, 

partnerships, societies, and other stock 

companies, as well as individuals, but 

does not include Executive departments 

or agencies. Executive departments or 

agencies will not have to complete the 

Certification Form as set forth in the 

rule. Those working on behalf of and 

authorized by Executive departments or 

agencies may access the Limited Access 

DMF through that sponsoring Executive 

department or agency. If, however, an 

Executive department or agency wishes 

those working on its behalf to access the 

Limited Access DMF directly from 

NTIS, then those working on behalf of 

that Executive department or agency 

will be required to complete and submit 

the Certification Form as set forth in the 

rule and enter into a subscription 

agreement with NTIS in order to access 

the Limited Access DMF. 

This interim final rule contains 

general provisions regarding 

implementation of the Act and 

establishes the interim procedure for 

becoming a certified person. These 

general provisions and the interim 

procedure are effective immediately. 

Due to the extremely important issues 

raised by potential misuse of the DMF, 

including concerns about availability of 

sensitive information transmitted across 

the Internet, and the statutory deadline 

for establishing a certification program, 

NTIS is issuing this interim final rule. 

NTIS plans to continue to refine the 

certification program, consistent with 

the Act through a separate notice and 

comment rulemaking process, to be 

initiated as soon as possible. 

Additional Information 

Executive Order 12866 

This rule has been determined to be 

significant of Executive Order 12866. 

Executive Order 12612 

This rule does not contain policies 

with Federalism implications sufficient 

to warrant preparation of a Federalism 

assessment under Executive Order 

12612. 

Administrative Procedure Act 

NTIS finds good cause to waive the 

notice and comment provisions in 5 

U.S.C 553(b)(B) because failure to do so 

would be contrary to the public interest. 

Under Section 203 of the Act, on March 

26, 2014, the Secretary must cease any 

and all disclosure of DMF data within 

three calendar years of a person’s death 

unless the recipient of the data is 

certified. Many of the current 

subscribers of the DMF data, such as 

insurance companies and credit card 

companies, use the data for fraud 

prevention purposes. If this rule is not 

effective by March 26, 2014, these 

companies will no longer be able to 

receive data necessary to prevent fraud 

in their industry. At the public meeting 

NTIS held on March 4, commenters 

explained why they thought their use of 

the DMF was legitimate under the Act, 

and emphasized the necessity of 

uninterrupted access to the DMF for 

their business. Comments were also 

received regarding the content of a 

certification form that might be used in 

conjunction with a certification program 

under the Act. Given the statutory 

deadline associated with implementing 

the Act, it was not possible to address 

all of the arguments and comments 

presented before promulgating this 

interim final rule. Waiving the notice 

and comment requirements of the 

Administrative Procedure Act to make 

this rule effective immediately will 

allow entities who use the DMF for 

legitimate purposes, as defined in the 

Act, to continue to access the data 

through certification of their compliance 

with the requirements of Section 203. 

Regulatory Flexibility Act 

Because notice and comment are not 

required under 5 U.S.C. 553, or any 

other law, the analytical requirements of 

the Regulatory Flexibility Act (5 U.S.C. 

601 et seq.) are inapplicable. As such, a 

regulatory flexibility analysis is not 

required, and none has been prepared. 

Paperwork Reduction Act 

This interim final rule contains a 

collection of information requirement 

subject to the Paperwork Reduction Act 

and which has been approved by the 

Office of Management and Budget 

(OMB) under Control Number 0692– 

0013. This interim final rule requires 

that applicants certify their compliance 

with the requirements of Section 203 of 

the Act. 

Notwithstanding any other provision 

of the law, no person is required to, nor 

shall any person be subject to penalty 

for failure to comply with a collection 

of information, subject to the 

requirements of the Paperwork 

Reduction Act, unless that collection of 

information displays a currently valid 

OMB Control Number. 

National Environmental Policy Act 

This rule will not significantly affect 

the quality of the human environment. 

Therefore, an environmental assessment 

or Environmental Impact Statement is 

not required to be prepared under the 

National Environmental Policy Act of 

1969. 

List of Subjects in 15 CFR Part 1110 

Certification program, Fees, 

Imposition of penalty. 

Dated: March 21, 2014. 

Bruce Borzino, 

Director. 

For reasons set forth in the preamble, 

the National Technical Information 

Service amends 15 CFR chapter XI to 

add a new part 1110, as follows: 

PART 1110—CERTIFICATION 

PROGRAM FOR ACCESS TO THE 

DEATH MASTER FILE 

Subpart A—General 

Sec. 


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Federal Register / Vol. 79, No. 58 / Wednesday, March 26, 2014 / Rules and Regulations 16671 

1110.1 Description of rule; applicability. 

1110.2 Definitions used in this part. 

Subpart B—Certification Program 

1110.100 Scope. 

1110.101 Submission of Certification. 

1110.102 Certification. 

Subpart C—Penalties and Audits 

1110.200 Imposition of Penalty. 

1110.201 Audits. 

Subpart D—Fees 

1110.300 Fees. 

Authority: Pub. L. 113–67, Sec. 203. 

Subpart A—General 

§ 1110.1 Description of rule; applicability. 

(a) The Bipartisan Budget Act of 2013 

(Pub. L. 113–67), Section 203, provides 

for the establishment of a fee-based 

certification program for persons who 

seek access to the Death Master File 

(DMF), and prohibits disclosure of DMF 

information for an individual during the 

three-calendar-year period following the 

individual’s death, unless the person 

requesting the information has been 

certified. 

(b) This part is applicable to any 

Person seeking access to a Limited 

Access DMF, as defined in this part. 

§ 1110.2 Definitions used in this part. 

The following definitions are 

applicable to this part: 

Act. The Bipartisan Budget Act of 

2013 (Pub. L. 113–67). 

Certified Person. A Person who has 

been certified under the certification 

program established under this part and 

is eligible to access the Limited Access 

DMF. 

DMF. Death Master File. 

Death Master File. Information on the 

name, social security account number, 

date of birth, and date of death of 

deceased individuals maintained by the 

Commissioner of Social Security, other 

than information that was provided to 

such Commissioner under section 205(r) 

of the Social Security Act (42 U.S.C. 

405(r)). 

Limited Access DMF. The DMF 

product made available by NTIS which 

includes DMF with respect to any 

deceased individual at any time during 

the three-calendar-year period 

beginning on the date of the individual’s 

death. 

NTIS. The National Technical 

Information Service, United States 

Department of Commerce. 

Open Access DMF. The DMF product 

made available by NTIS which does not 

include DMF with respect to any 

deceased individual at any time during 

the three-calendar-year period 

beginning on the date of the individual’s 

death. 

Person. This term includes 

corporations, companies, associations, 

firms, partnerships, societies, and joint 

stock companies, as well as individuals. 

Subpart B—Certification Program 

§ 1110.100 Scope. 

(a) Any Person desiring access to the 

Limited Access DMF must certify in 

accordance with this part. Upon 

acceptance of a Person’s certification by 

NTIS, such Person will be a Certified 

Person, will be entered into the publicly 

available list of Certified Persons 

maintained by NTIS, and will be eligible 

to access the Limited Access DMF made 

available by NTIS through subscription. 

(b) Certification under this part is not 

required for any Person to access the 

Open Access DMF made available by 

NTIS; however, a Certified Person may 

also access the Open Access DMF. 

§ 1110.101 Submission of Certification. 

In order to become certified under the 

certification program established under 

this part, a Person must submit a 

completed certification statement, using 

the form NTIS FM161 with OMB 

Control Number 0692–0013, and its 

accompanying instructions at https://

dmf.ntis.gov. 

§ 1110.102 Certification. 

In order to be certified to be eligible 

to access the Limited Access DMF under 

the certification program established 

under this part, a Person shall certify, in 

the manner set forth in this part and 

pursuant to section 1001 of title 18, 

United States Code, that 

(a) Such Person’s access to the 

Limited Access DMF is appropriate 

because: 

(1) Such Person has a legitimate fraud 

prevention interest, or has a legitimate 

business purpose pursuant to a law, 

governmental rule, regulation, or 

fiduciary duty, and shall specify the 

basis for so certifying; 

(2) Such Person has systems, 

facilities, and procedures in place to 

safeguard the accessed information, and 

experience in maintaining the 

confidentiality, security, and 

appropriate use of accessed information, 

pursuant to requirements similar to the 

requirements of section 6103(p)(4) of the 

Internal Revenue Code of 1986; 

(3) Such Person agrees to satisfy the 

requirements of such section 6103(p)(4) 

as if such section applied to such 

Person; 

(4) Such Person shall not, with 

respect to DMF of any deceased 

individual at any time during the threecalendar-year period beginning on the 

date of the individual’s death: 

(i) Disclose such deceased 

individual’s DMF to any person other 

than a person who meets the 

requirements of paragraphs (a)(1) 

through (3) of this section; 

(ii) Disclose such deceased 

individual’s DMF to any person who 

uses the information for any purpose 

other than a legitimate fraud prevention 

interest or a legitimate business purpose 

pursuant to a law, governmental rule, 

regulation, or fiduciary duty; 

(iii) Disclose such deceased 

individual’s DMF to any person who 

further discloses the information to any 

person other than a person who meets 

the requirements of paragraphs (a)(1) 

through (3) of this section; or 

(iv) Use any such deceased 

individual’s DMF for any purpose other 

than a legitimate fraud prevention 

interest or a legitimate business purpose 

pursuant to a law, governmental rule, 

regulation, or fiduciary duty, 

(b) The certification required in this 

section shall state whether such Person 

intends to disclose such deceased 

individual’s DMF to any person, and if 

so, shall state the manner of such 

disclosure and how such Person will 

ensure compliance with paragraphs 

(a)(4)(i) through (iii) of this section. 

Subpart C—Penalties and Audits 

§ 1110.200 Imposition of Penalty. 

(a) General. (1) Any Person certified 

under this part who receives DMF 

including information about any 

deceased individual at any time during 

the three-calendar-year period 

beginning on the date of the individual’s 

death, and who during such threecalendar-year period: 

(i) Discloses such deceased 

individual’s DMF information to any 

person other than a person who meets 

the requirements of § 1110.102(a)(1) 

through (3); 

(ii) Discloses such deceased 

individual’s DMF to any person who 

uses the information for any purpose 

other than a legitimate fraud prevention 

interest or a legitimate business purpose 

pursuant to a law, governmental rule, 

regulation, or fiduciary duty; 

(iii) Discloses such deceased 

individual’s DMF to any person who 

further discloses the information to any 

person other than a person who meets 

the requirements of § 1110.102(a)(1) 

through (3); or 

(iv) Uses any such deceased 

individual’s DMF for any purpose other 

than a legitimate fraud prevention 

interest or a legitimate business purpose 

pursuant to a law, governmental rule, 

regulation, or fiduciary duty 


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1See 17 CFR 145.9. 

2Public Law 111–203, 124 Stat. 1376 (2010). 

3 7 U.S.C. 1 et seq. 

(2) Any Person to whom such 

information is disclosed, whether or not 

such Person is certified under this part, 

who further discloses or uses such 

information as described in paragraphs 

(a)(1)(i) through (iv) of this section shall 

pay to the General Fund of the United 

States Department of the Treasury a 

penalty of $1,000 for each such 

disclosure or use. 

(b) Limitation on Penalty. The total 

amount of the penalty imposed under 

this part on any Person for any calendar 

year shall not exceed $250,000. 

§ 1110.201 Audits. 

Any Person certified under this part 

shall, as a condition of certification, 

agree to be subject to audit by NTIS to 

determine the compliance by such 

Person with the requirements of this 

part. NTIS may conduct periodic and 

unscheduled audits of the systems, 

facilities, and procedures of any 

Certified Person relating to such 

Certified Person’s access to, and use and 

distribution of, Limited Access DMF, 

during regular business hours. 

Subpart D—Fees 

§ 1110.300 Fees. 

Fees for the costs associated with 

evaluating applications for certification 

of Certified Persons under this part are 

as follows: 

Processing of Certification Form 

and maintenance of Registry of 

Certified Persons ...................... $200.00 

[FR Doc. 2014–06701 Filed 3–25–14; 8:45 am] 

BILLING CODE 3510–04–P 

COMMODITY FUTURES TRADING 

COMMISSION 

17 CFR Part 49 

RIN 3038–AE14 

Swap Data Repositories—Access to 

SDR Data by Market Participants 

AGENCY: Commodity Futures Trading 

Commission. 

ACTION: Interim final rule; request for 

comment. 

SUMMARY: The Commodity Futures 

Trading Commission (‘‘Commission’’ or 

‘‘CFTC’’) is adopting an interim final 

rule to clarify the scope of permissible 

access by market participants to swap 

data and information maintained by a 

registered swap data repository (‘‘SDR’’). 

Specifically, the interim final rule 

clarifies that, for a swap that is executed 

anonymously on a swap execution 

facility or designated contract market, 

and then cleared in accordance with the 

Commission’s straight-through 

processing requirements, the data and 

information maintained by a registered 

SDR that may be accessed by either 

counterparty to the swap does not 

include the identity of the other 

counterparty to the swap, the identity of 

the other counterparty’s clearing 

member for the swap, or such 

counterparty’s or clearing member’s 

legal entity identifier. 

DATES: Effective date: This interim final 

rule is effective March 26, 2014. 

Comment date: Comments on this 

interim final rule must be submitted on 

or before April 25, 2014. 

ADDRESSES: You may submit comments, 

identified by RIN number 3038–AE14, 

by any of the following methods: 

• Agency Web site—via Comments 

Online process: http://

comments.cftc.gov. Follow the 

instructions for submitting comments 

through the Web site. 

• Mail: Melissa D. Jurgens, Secretary 

of the Commission, Commodity Futures 

Trading Commission, Three Lafayette 

Centre, 1155 21st Street NW., 

Washington, DC 20581. 

• Hand delivery/courier: Same as 

Mail, above. 

• Federal eRulemaking Portal: http:// 

www.regulations.gov. Follow the 

instructions for submitting comments 

through the portal. 

Please submit your comments using 

only one method. 

All comments must be submitted in 

English, or if not, accompanied by an 

English translation. Comments will be 

posted as received to http://

www.cftc.gov. You should submit only 

information that you wish to make 

available publicly. If you wish the 

Commission to consider information 

that you believe is exempt from 

disclosure under the Freedom of 

Information Act, a petition for 

confidential treatment of the exempt 

information may be submitted according 

to the procedures established in § 145.9 

of the Commission’s regulations.1

The Commission reserves the right, 

but shall have no obligation, to review, 

pre-screen, filter, redact, refuse, or 

remove any or all of your submission 

from http://www.cftc.gov that it may 

deem to be inappropriate for 

publication, such as obscene language. 

All submissions that have been redacted 

or removed that contain comments on 

the merits of this action will be retained 

in the public comment file and will be 

considered as required under the 

Administrative Procedure Act and other 

applicable laws, and may be accessible 

under the Freedom of Information Act. 

FOR FURTHER INFORMATION CONTACT: 

Nora Flood, Attorney Advisor, (202) 

418–5354, nflood@cftc.gov, or Laurie 

Gussow, Special Counsel, (202) 418– 

7623, lgussow@cftc.gov, Division of 

Market Oversight, Commodity Futures 

Trading Commission, Three Lafayette 

Centre, 1155 21st Street NW., 

Washington, DC 20581. 

SUPPLEMENTARY INFORMATION: 

Table of Contents 

I. Background 

A. Dodd-Frank Act Section 728; CEA 

Section 21 

B. Access to SDR Data by Market 

Participants 

II. Scope of Permissible Access to SDR Data 

and Information by Counterparties to 

Anonymously Executed, Cleared Swaps 

A. Discussion 

B. Amendment to 17 CFR 49.17(f)(2) 

III. Request for Comment on Interim Final 

Rule 

IV. Related Matters 

A. Administrative Procedure Act 

B. Paperwork Reduction Act 

C. Regulatory Flexibility Act 

D. Cost Benefit Considerations 

I. Background 

A. Dodd-Frank Act Section 728; CEA 

Section 21 

On July 21, 2010, President Obama 

signed into law the Dodd-Frank Wall 

Street Reform and Consumer Protection 

Act (‘‘Dodd-Frank Act’’).2 Title VII of 

the Dodd-Frank Act amended the 

Commodity Exchange Act (‘‘CEA’’ or 

‘‘Act’’) 3 to establish a comprehensive 

new regulatory framework for swaps. 

The legislation was enacted to reduce 

systemic risk, increase transparency, 

and promote market integrity within the 

financial system by, among other things: 

(1) Providing for the registration and 

comprehensive regulation of swap 

dealers and major swap participants; (2) 

imposing clearing and trade execution 

requirements on standardized derivative 

products; (3) creating a rigorous 

recordkeeping and data reporting regime 

with respect to swaps, including realtime public reporting; and (4) enhancing 

the Commission’s rulemaking and 

enforcement authorities over all 

registered entities, intermediaries and 

swap counterparties subject to the 

Commission’s oversight. 

Section 728 of the Dodd-Frank Act 

added new section 21 to the CEA, 

establishing swap data repositories, or 

‘‘SDRs’’, as a new category of 

Commission registered entity. The SDR 


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